Disciplined List


Name: Chang, Tim Long
SRO - Mutual Fund Dealers Association of Canada
Date of Order or Settlement January 05, 2018
Banned Until January 05, 2020
Administrative Penalty/Fine
Registration ban (with or without exceptions) and/or restrictions
Payment Agreed/Ordered $20,000.00 *
Unregistered activities and/or unapproved activities
Internal control violations
Conflict of interest and/or acting against client interest
Supporting Documents
Sanctions Decisions (English)
Related Documents (English)

* Click here for additional information regarding the amount outstanding.

The CSA presents this information as a plain language summary of information found in publicly available documents. You should review the supporting documents for the full conditions and context of all decisions, orders, and sanctions. Please forward any questions or reports of errors and omissions to csa-acvm-secretariat@acvm-csa.ca

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